Full text of BATES SECURITIES, INC.'s X-17A-5 filed 2023-05-03 (period 2023-01-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17 A-5 PART Ill** SEC FILE NUMBER 8-29005 **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_\_\_ 2 \_ 1 \_ 11\_ 2 \_ 02\_ 2 \_\_\_ AND ENDING \_\_\_ 1 \_ 1 \_ 31\_ 1 \_ 20\_ 2 \_ 3 \_\_ \_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF Fl RM: \_B\_a\_te\_s\_s\_e\_c\_ur\_it\_ie\_s\_, \_in\_c\_. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): <sup>~</sup>Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 8437 Northern Avenue Rockford (City) (No. and Street) IL (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 61107 (Zip Code) George E. Bates 815-332-4020 gebates@batessecu rities .com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Bauer & Company P.O. Box 27887 (Address) 11/20/2014 (Name - if individual, state last, first, and middle name) Austin (City) 6072 **FOR OFFICIAL USE ONLY** TX (State) 78755 (Zip Code) \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, George E. Bates , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Bates Securities, Inc. as of January 31 , 2 023 , is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. #### **This…Read the full text as markdown